SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on NASD Rulemaking

Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities

(Release No. 34-56375A; File No. SR-NASD-2004-183)

and

Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities

(Release No. 34-52046A; File No. SR-NASD-2004-183)

and

Notice of Filing Amendment No. 2 to Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities

(Release No. 34-54023; File No. SR-NASD-2004-183)


Oct. 8, 2007 Donald S. Davidson, Bingham McCutchen LLP
Oct. 4, 2007 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Oct. 4, 2007 John S. Watts, SVP/ Chief Counsel, PFS Investments Inc.
Oct. 3, 2007 Jill I. Gross and Barbara Black, Pace Investor Rights Clinic, White Plains, New York
Aug. 10, 2007 James S. Wrona, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
May 24, 2007 Eric A. Arnold and Clifford E. Kirsch, Sutherland Asbill & Brennan LLP
May 15, 2007 James S. Wrona, Associate Vice President and Associate General Counsel, NASD
Apr. 30, 2007 Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Apr. 11, 2007 Jeffrey M. Auld, President, Berthel Fisher & Company
Apr. 10, 2007 Lawrence M. Tomczak, Agency Investment Specialist, MassMutual Financial Group
Apr. 10, 2007 Victoria Bach-Fink, President, Wall Street Financial Group, Inc.
Apr. 9, 2007 Clifford E. Kirsch, Sutherland, Asbill & Brennan, LLP, on behalf of the Committee of Annuity Insurers
Mar. 30, 2007 Michael Calabrese, Arnold, Maryland
Mar. 5, 2007 Sheryl Johnson, Registered Principal, Raymond James Financial, El Dorado Hills, California
Mar. 5, 2007 Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Mar. 1, 2007 Victoria Bach-Fink, Wall Street Financial Group
Feb. 28, 2007 Pam Fritz, Chief Compliance Officer, MWA Financial Services
Feb. 28, 2007 Connie Jensen, President, Jensen Money Management
Feb. 26, 2007 Steven Seward, Financial Planner, Cambridge Investment Research
Feb. 24, 2007 David Demming, CFP/principal, Demming Financial Services Corp
Feb. 24, 2007 Charlotte Hartmann-Hansen, President, Hartmann-Hansen Financial Services
Feb. 23, 2007 Penn Rettig, Registered Principal, Multi Financial Securities Corp
Feb. 23, 2007 Mark S. Rushwald, CFP
Feb. 23, 2007 Mark Stevens, CFP, ChFC, Bi-Focus Financial, Inc.
Feb. 23, 2007 Donald Kohnstamm, President, Desmon & Kohnstamm, Inc.
Feb. 23, 2007 Clinton Howard, Registered Principal, Jefferson Pilot Securities Corp.
Feb. 22, 2007 Valentine Lynch, Registered Principle, FSC Securities Corporation, Crofton, Maryland
Feb. 22, 2007 James Sowell, Owner, $olutions
Feb. 22, 2007 Christopher Anderson, Financial Consultant, ING Financial Partners
Feb. 22, 2007 Tom Mooney, Mooney On Money, Inc.
Feb. 22, 2007 Peter Beronio, Registered Principal, Mutual Service Corporation
Feb. 22, 2007 Anthony Zambri, Equity Services, Inc.
Feb. 22, 2007 Richard Hoem, Financial Advisor, Berthel Fisher & Company
Feb. 22, 2007 Elinos Whitlock, President, Whitlock WealthCare, Inc.
Aug. 31, 2006 James S. Wrona, NASD, Washington, D.C.
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 Anonymous
Aug. 15, 2006 David M. Dinn
Aug. 15, 2006 C. Wilkins
Aug. 15, 2006 James R. Lester
Aug. 15, 2006 J. Kreifel
Aug. 15, 2006 Daniel L. Lofrese
Aug. 15, 2006 Mary-Jo Iacovino
Aug. 15, 2006 Rick
Aug. 15, 2006 Elaine
Aug. 15, 2006 Joe Allbright
Jul. 28, 2006 Laurence S. Schultz, Driggers, Schultz & Herbst, P.C., Troy, Michigan
Jul. 25, 2006 William M. Hancock, CLU, Transamerica Financial Advisors
Jul. 25, 2006 Keith J. Wolff, CFP, Vernon, Connecticut
Jul. 21, 2006 M. L. Vincent, Jr., Registered Representative, Transamerica Financial Advisors, Inc., Lake Charles, Louisiana
Jul. 21, 2006 Patricia Struck, President, North American Securities Administrators Association and Administrator, Wisconsin Secuities Division, Washington, District of Columbia
Jul. 20, 2006 Al Villasenor, Unisure Insurance Services Inc., Torrance, California
Jul. 20, 2006 Ashli Shackelford Wheaton, Transamerica Financial Advisors, Inc.
Jul. 20, 2006 Robert S. Banks, Jr., President, Public Investors Arbitration Bar Association, Portland, Oregon
Jul. 20, 2006 Kerry Cunningham, Head of Risk Management, ING Advisors Network, El Segundo, California
Jul. 20, 2006 Teresa L. Luiz, Greenwood Village, Colorado
Jul. 20, 2006 Anonymous
Jul. 19, 2006 Timothy J. Lyle, Senior Vice President and Chief Compliance Officer , Contemporary Financial Solutions
Jul. 19, 2006 Timothy J. Lyle, Senior Vice President and Chief Compliance Officer , Mutual Service Corporation
Jul. 19, 2006 Darrell N. Braman, Vice President and Associate Legal Counsel, and Sarah McCafferty, Vice President and Associate Legal Counsel, T. Rowe Price Associates, Inc.
Jul. 19, 2006 Rick Dahl, CCO, Sorrento Pacific Financial, LLC
Jul. 19, 2006 Ari Burstein, Associate Counsel, Investment Company Institute
Jul. 19, 2006 Joel R. Swinehart, National Financial Alliance
Jul. 19, 2006 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Jul. 19, 2006 Perry D. Nocifora, CFP, CRFA, Wealth Management Services, Inc., Garden Grove, CA 92841-4173
Jul. 19, 2006 Jack R. Ford
Jul. 19, 2006 W. Thomas Conner and Eric A. Arnold, Committee of Annunity Insurers, Sutherland Asbill & Brennan LLP on behalf of Committee of Annuity Insurers
Jul. 19, 2006 Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals, Inc.
Jul. 19, 2006 Shawn M. Mihal, Chief Compliance Officer, Great American Advisors, Inc.
Jul. 19, 2006 Joe Lukowski, Chief Compliance Officer, Waterstone Financial Group, Itasca, Illinois
Jul. 19, 2006 Peter K. Vonk, SVP/CCO, CUSO Financial Services, L.P.
Jul. 19, 2006 Robert S. Jones, Jr., ChFC, CLU, Chairman, AXA Advisors, LLC
Jul. 19, 2006 Curtis A. Knauss
Jul. 19, 2006 Kevin A Govero, CLU
Jul. 19, 2006 Ira D. Hammerman, General Counsel, Securities Industry Association
Jul. 19, 2006 Michael P. DeGeorge, General Counsel, National Association for Variable Annunities
Jul. 19, 2006 Edward C. Hiers, President, Northeast Planning Associates, Inc., Bedford, NH
Jul. 19, 2006 Gary M. Gillan
Jul. 19, 2006 Stephen A. Batman, CEO 1st Global Capital Corp.
Jul. 19, 2006 Gary A. Sanders, Senior Counsel, Law and Government Relations, National Association of Insurance and Financial Advisors and Thomas F. Korb, Vice President of Policy and Public Affairs, Association for Advanced Life Underwriting
Jul. 19, 2006 Steve Summerlin, President, CERTIFIED FINANCIAL PLANNERTM, Summerlin Financial Advisors, Inc., Gainesville, Florida
Jul. 19, 2006 Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Jul. 19, 2006 W. Burk Rosenthal, CFS, President, Rosenthal Retirement Planning, LP, Registered Principal, Securities America, Inc.
Jul. 19, 2006 Clyde R. Martinez, Agent, New York Life Insurance Company, Albuquerque, New Mexico
Jul. 19, 2006 Phillip Hinds, Registered Representative, Transamerica Financial Advisors, Inc.
Jul. 19, 2006 Austin Kanter
Jul. 19, 2006 Jill I. Gross, Esquire, Pace Investor Rights Project, White Plains, New York
Jul. 19, 2006 M. Shawn Dreffein, President and CEO, National Planning Holdings, Inc., National Planning Corporation
Jul. 18, 2006 Gary T. Wolff, CLU, ChFC, Vernon, Connecticut
Jul. 18, 2006 Thomas J. Wolff, Chartered Financial Consultant, Vernon, Connecticut
Jul. 18, 2006 Gregory S. Wolff, Certified Financial Planner, Wolff-Zackin Financial, LLC, Vernon, Connecticut
Jul. 18, 2006 Robert E. Baxter, III, CLU, ChFC; R.E. Baxter & Associates, Inc.
Jul. 18, 2006 Thomas R. Moriarty, Co-President, InterSecurities, Inc.
Jul. 18, 2006 Roger Erickson, National Committeeman, NAIFA--Blue Valley Nebraska
Jul. 18, 2006 Steven C. Arndt, Registered Representative
Jul. 18, 2006 James Biasotti, Advantage Wealth Advisors, Los Angeles, California
Jul. 18, 2006 Dave Spellman, President, Pratt Financial Group, Inc., Westbrook, Maine
Jul. 18, 2006 Leonard Viscito, CPA, J.D., Registered Representative, Mutual Service Corporation
Jul. 17, 2006 Joseph F. Brinker, Registered Representative, Transamerica Financial Advisors, Inc.
Jul. 17, 2006 Peter T. Lotzer, CLU, ChFC, Registered Representative, ING Financial Partners
Jul. 17, 2006 Kurt A. Kechely, CLU, ChFC, Daubert & Butler Associates
Jul. 17, 2006 Nathan M. Kosman, VP, The Rosselot Financial Group Inc., Cincinnati OH
Jul. 17, 2006 Norman H. Cathell Jr.
Jul. 17, 2006 Mark J. Napolin, CLU, ChFC, Managing Principal, Transamerica Financial Advisors, Inc.
Jul. 17, 2006 W. Greg Barney, CLU, ChFC, Investment Advisor Representative, Transamerica Financial Advisors, Inc.
Jul. 17, 2006 Gregory A. Wittland, CFP, Quincy, Illinois
Jul. 17, 2006 Porter T. Talbot, RFP, ChFC, CLU
Jul. 15, 2006 Gary H. Miyashiro, Registered Representative, Transamerica Financial Advisors
Jul. 15, 2006 Dan HeiRonimus
Jul. 15, 2006 Neil Lubarsky, White Plains, N.Y.
Jul. 14, 2006 Harriet A. Veenker, Registered Representative, Transamerica Financial Advisors, Inc.
Jul. 14, 2006 Chris A. Hipple, Registered Representative, Transamerica Financial Advisors, Inc.
Jul. 14, 2006 John H. Kaight, Transamerica Financial Advisors, Inc.
Jul. 14, 2006 William A. Meserve, Registered Representative, Transamerica Financial Advisors, Inc.
Jul. 14, 2006 James Owen Davidson, Central Financial Services
Jul. 14, 2006 Christopher Shaw, Vice President, Licensing & Compliance Administration, Transamerica Financial Advisors, Inc.
Jul. 14, 2006 Dinesh Patel
Jul. 14, 2006 Lawrence Lester, Financial Consultant, AXA Advisors, New York City, New York
Jul. 14, 2006 Jady Hoffner, Registered Representative
Jul. 14, 2006 Mitchell F. Keil, CFP
Jul. 14, 2006 John Kloempken, JD, MBA, Registered Representative, Chicago North Financial Group, Itasca, Illinois
Jul. 14, 2006 S.D. Khalsa, MS, CSA, ChFC, Financial Advisor, Hudson, Ohio
Jul. 14, 2006 Cory Anderson, Town and Country Insurance Agency, Finlayson, Minnesota
Jul. 14, 2006 Jerry O'Reilly, Royal Alliance Associates, Inc.
Jul. 14, 2006 Catherine Latto, CFP, President, Latto & Associates, Inc.
Jul. 14, 2006 Matt Muccigrosso, Princor Financial Services Corporation
Jul. 14, 2006 Bob FitzSimmons, CFP, Lincoln, Nebraska
Jul. 14, 2006 Timothy G. Carnago, Hutchins Brokerage/Greaves Agency, Transamerica Financial Advisors, Ormond Beach, Florida
Jul. 13, 2006 Donald B. Elliott, Northwestern Mutual Financial Network
Jul. 13, 2006 Barry Levine, CLU, ChFC, LUTCF
Jul. 13, 2006 William A. Caplin, CLU, ChFC, Registered Representative, Transamerica Financial Advisors, Inc.
Jul. 13, 2006 Robert Jenkins, LUTCF, New York Life Insurance Company Agent, Salt Lake City, Utah
Jul. 13, 2006 James L. Culp, FIC, Financial Associate, Thrivent Investment Management Inc., Greenville, South Carolina
Jul. 13, 2006 Larry J. Winkelhake, CLU, ChFC, Royal Alliance Associates Inc., Milwaukee, Wisconsin
Jul. 13, 2006 Walter J. Robinson, RHU, CLU, ChFC, LUTCF, CSA, Norwalk, Connecticut
Jul. 13, 2006 John Harvey, CSA, Certified Senior Advisor, Malachi Financial Group, Ridgeland, Mississippi
Jul. 13, 2006 Ron Walrath, ChFC, CLU, CLTC, Thrivent Financial for Lutherans, Lexington, South Carolina
Jul. 13, 2006 Jerry L. Courtney, CLU, ChFC, Northwestern Mutual Financial Network, Burlington, Iowa
Jul. 13, 2006 Walter J. Scott, Jr., CLU, W. F. Coe & Associates, LLC, Oshkosh, Wisconsin
Jul. 13, 2006 Craig W. Dolan, Federated Mutual Insurance
Jul. 13, 2006 Roger Whitaker
Jul. 13, 2006 Javier D. Perez, ChFC, CSA, LUTCF, Tesoro Ins. & Fin. Services
Jul. 13, 2006 Bernie Wilson, CLU, ChFC
Jul. 13, 2006 Michael B. Holman, CLU, ChFC, Tacoma, Washington
Jul. 13, 2006 Peter D. Fischel, CLU, Fremont, California
Jul. 13, 2006 Rafael Siero
Jul. 13, 2006 Steven M. Weinstein, CFP, Mutual Service Corp.
Jul. 13, 2006 Ira Brogin, AXA Advisors, LLC
Jul. 13, 2006 Donald R. Herrmann
Jul. 13, 2006 Melody A. Anderson, Financial Representative, Lincoln, Illinois
Jul. 13, 2006 Mary L. Hradsky, LUTCF, AXA-Advisors, LLC, Hampstead, Maryland
Jul. 13, 2006 Peirce Ward, Metlife, Charlotte, North Carolina
Jul. 13, 2006 Jimmy Lee, MML Investors Services, Inc.
Jul. 13, 2006 Frank Lavin, AXA Advisors, San Francisco, CA
Jul. 13, 2006 Bill Burnham, CLU, ChFC, Ridgeland, MS
Jul. 13, 2006 E. Michael Gillmor, Financial Services Professional, New York Life Insurance Company, Seven Hills, OH
Jul. 13, 2006 Matthew J. Doke, Agent, New York Life Insurance Company
Jul. 13, 2006 James D. Finneran
Jul. 13, 2006 Thomas G. Krach
Jul. 13, 2006 James A. Tollus, ChFC, CLU, CMFC, Sagemark Consulting, Greenville, SC
Jul. 13, 2006 Howard Gray, New York Life, Bowling Green, OH
Jul. 12, 2006 Glen Stevenson
Jul. 12, 2006 Anthony Petsis, CLU, ChFC, Registered Principal, Transamerica Financial Advisors, Inc.
Jul. 12, 2006 Jerry Webb
Jul. 12, 2006 Ruby A. Miller, Agent, State Farm Insurance and President, NAIFA-TN (National Association of Insurance & Financial Advisors-Tennessee)
Jul. 12, 2006 Daniel G. Stockemer, Kansas
Jul. 12, 2006 Nancy A. Griffin
Jul. 12, 2006 Betsy O'Reilly
Jul. 12, 2006 Anne Graves, CLU, ChFC, REBC, RHU, LUTCF, Fredericksburg, VA
Jul. 12, 2006 Michael J. Frailey
Jul. 12, 2006 Adam R. Stevens, Financial Representative, Northwestern Mutual Financial Network
Jul. 12, 2006 George F. Harley, CLU, CFP
Jul. 12, 2006 Raymond E. Moore, CLU, ChFC, MSFS, CAP, President, Registered Principal, Moore Financial Services, Richmond, VA 23236
Jul. 12, 2006 James R. Denny, III
Jul. 12, 2006 Pamela S. Fritz, Chief Compliance Officer; Thaddeus R. Crass, Chief Operations Officer; Robert M. Roth, President, MWA Financial Services Inc.
Jul. 12, 2006 Armand Minasian, CFP, San Francisco, CA
Jul. 12, 2006 Georgia H. Ford, CLU, ChFC, MetLife
Jul. 12, 2006 Thomas A. Haunty, CFP, RHU, REBC, ChFC, Senior Partner, North Star Resource Group
Jul. 12, 2006 John Power, CPA, Power Financial, LLC
Jul. 12, 2006 Robert Varich
Jul. 12, 2006 Suzie Hilgeman
Jul. 12, 2006 Aprilyn Chavez Agency
Jul. 12, 2006 Gary Zinter
Jul. 12, 2006 Chad Rogers, Northwestern Mutual Financial Network
Jul. 12, 2006 James B. Thompson
Jul. 12, 2006 Courtney L. Livingston, LUTCF, FIC, Thrivent Financial for Lutherans
Jul. 12, 2006 Joseph Bynum
Jul. 12, 2006 Anita Kennedy, Agency Manager, Eugene, Oregon
Jul. 11, 2006 Scott E. Bordelon, CFP, AAMS, President, Financial & Investment Management Advisors, Inc., Covington, Louisiana
Jul. 11, 2006 John & Kathi Meo, CFP, Registered Principal, LPL Financial Services
Jul. 10, 2006 Lynn M. Vance, Mutual Service Corp.
Jul. 10, 2006 Michael J. Mungenast, President, ProEquities, Inc.
Jul. 10, 2006 Jed E. Bandes, CFP, ChFC, CLU, Clearwater, Florida
Jul. 6, 2006 Gale Johnston, CFP, Financial Advisor, Los Angeles, California
Jul. 6, 2006 Charles B. Milligan III, Chief Compliance Officer, Vice President of Operations, Cambria Capital, LLC, Salt Lake City, Utah
Jul. 5, 2006 Peter W. Sullivan, ING Financial Partners, Sullivan Financial Group
Jul. 3, 2006 Ron A. Rhoades, B.S., J.D., CFP, Hernando, Florida
Jul. 2, 2006 D. Max Bruce, DM Bruce Associates, Overland Park, Kansas
Jun. 30, 2006 Heather L. Shick, Investment Adviser Representative, Woodbury Financial Services, Inc., Lakeport, California
Jun. 30, 2006 Michael J. Lavery, Investment Planners Inc., Quincy, Illinois
Jun. 30, 2006 Bobby Glass, CLU, ChFC, CFP, MSFS, Registered Principal, Acorn Financial Services, Fairfax, Virginia
Jun. 30, 2006 Gerald W. Hall, Branch Manager/Financial Advisor, Raymond James Financial Services, Inc., Fredonia, New York
Jun. 30, 2006 Rhonda Matthews, Raymond James Financial Services
Jun. 28, 2006 Allen M. Kamemoto, Registered Representative, Transamerica Financial Advisors, Honolulu, Hawaii
Jun. 26, 2006 Dennis T. Higuchi, Registered Principal, Transamerica Financial Advisors, Honolulu, Hawaii
Jun. 23, 2006 Miles M. Ono, Registered Representative, Transamerica Financial Advisors, Honolulu, Hawaii
Jun. 22, 2006 Dennis T. Higuchi, Registered Principal, Transamerica Financial Advisors, Honolulu, Hawaii
Jun. 8, 2006 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, ACLI
Dec. 22, 2005 Robert L. D. Colby, Acting Director, and Catherine McGuire, Chief Counsel, Sutherland, Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Sep. 23, 2005 David O. Spinar, Vice President and Chief Compliance Officer, Securities America, Inc.
Sep. 20, 2005 Thomas M. Yacovino, Vice President, A.G. Edwards & Sons, Inc.
Sep. 20, 2005 Roger C. Ochs, President, H.D. Vest Investment Services
Sep. 20, 2005 Patricia D. Struck, President and Wisconsin Securities Administrator, North American Securities Administrators, Inc.
Sep. 19, 2005 Beth L. Climo, Executive Director, ABA Securities Association and American Bankers Insurance Association
Sep. 19, 2005 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Sep. 19, 2005 John S. Simmers, CEO, ING Advisors Network
Sep. 19, 2005 Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Sep. 19, 2005 Gary A. Sanders, Senior Counsel, Law and Government Relations, National Association of Insurance and Financial Advisors and Thomas F. Korb, Director of Government Affairs, Association for Advanced Life Underwriting
Sep. 19, 2005 Frances M. Stadler Deputy Senior Counsel, Investment Company Institute
Sep. 19, 2005 Julie Gebert, Vice President and Chief Compliance Officer, United Planners' Financial Services of America
Sep. 19, 2005 W. Thomas Conner and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Sep. 19, 2005 Jennifer B. Sheehan, Assistant Vice President & Counsel, Massachusetts Mutual Life Insurance Company
Sep. 19, 2005 Deirdre B. Koerick, Vice President, Lincoln Investment Planning, Inc.
Sep. 19, 2005 Michael P. DeGeorge, General Counsel, NAVA
Sep. 19, 2005 Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Sep. 19, 2005 John R. Meyer, Senior Vice President, New York Life Insurance and Annuity Corporation and Gerard Rocchi, Chairman & CEO, Nylife Securities, Inc.
Sep. 19, 2005 Lance A. Reihl, President, 1717 Capital Management Company and Nationwide Securities, Inc.
Sep. 19, 2005 Shawn M. Mihal, Chief Compliance Officer, Great American Advisors, Inc.
Sep. 19, 2005 Richard V. Silver, Executive Vice President and General Counsel, AXA Advisors, LLC
Sep. 19, 2005 Stephen A. Batman, CEO, 1st Global Capital Corp., Dallas, Texas
Sep. 19, 2005 Barbara Black, Director, Pace Investor Rights Project, Pace University School of Law, White Plains, New York
Sep. 19, 2005 Denise M. Evans, Esq., SR VP, General Counsel, Associated Securities Corp., Los Angeles, California
Sep. 19, 2005 Henry H. Hopkins, Darrell N. Braman and Sara McCafferty, T. Rowe Price Investment Services, Inc., Baltimore, Maryland
Sep. 19, 2005 Ronald C. Long, Senior Vice President, Regulatory Policy and Administration and Ryan P. Smith, Regulatory and EDR Attorney, Wachovia Securities, LLC
Sep. 19, 2005 Timothy J. Lyle, Senior Vice President and CCO, Mutual Service Corporation
Sep. 16, 2005 David D. Brown, IV, Bureau Chief, Investment Protection Bureau, State Of New York Office of the Attorney General
Sep. 16, 2005 Craig Junkins, President and Chief Executive Officer, FFP Securities, Inc.
Sep. 16, 2005 Stephen F. Anderson, CLU ChFC CFP, President, Waterstone Financial Group
Sep. 16, 2005 Donald J. Walters, Deputy Director, General Counsel & Secretary, Insurance Marketplace Standards Association
Sep. 16, 2005 Daniel A. Riedl, Senior Vice President and Chief Operating Officer, Northwestern Mutual Investment Services, LLC
Sep. 16, 2005 Thomas R. Moriarty, President, InterSecurities, Inc.
Sep. 16, 2005 John L. Dixon, President, Pacific Select Distributors, Inc.
Sep. 15, 2005 William W. Reid, Jr., President/CEO, ICBA Financial Services Corporation
Sep. 14, 2005 Susan A. McCraine, CCO, Investors Capital Corporation
Sep. 13, 2005 Michael W. Bourgault, J.D., CLU, Jefferson Pilot Securities Corporation
Sep. 09, 2005 M. Shawn Dreffein, President and CEO, National Planning Holdings, Inc.
Sep. 09, 2005 M. Kevin P. Takacs, CCO DOMI/DFA, Dominion Investor Services, Inc.
Sep. 09, 2005 Charles E. Woodson, EA, PFP, Horizon Planning
Sep. 09, 2005 Rosemary J. Shockman, President, Public Investors Arbitration Bar Association
Sep. 08, 2005 Leesa M. Easley, Chief Legal Officer, World Group Securities, Inc.
Sep. 08, 2005 Lawrence S. York, Interactive Planning Corp.
Sep. 07, 2005 Scott T. Leverenz, CRPC, The Financial Resource Group, Cambridge Investment Research
Sep. 06, 2005 Lon E. Pishny
Aug. 31, 2005 Brian R. Carlton, CFP, NAPFA Registered Financial Advisor, Huff, Stuart & Carlton, Investment and Wealth Management Fee-Only
Aug. 25, 2005 Ken Butterfield
Aug. 25, 2005 Kenneth Schueler, President and Compliance officer of an NASD member B/D
Aug. 15, 2005 Michael J. Mungenast, President, ProEquities, Inc.
Aug. 15, 2005 Joshua M. Satzer
Aug. 13, 2005 Ann Marie Albertine, Bethesda, Maryland
Aug. 11, 2005 Ann L. Ainsworth, Vice President, McFarland Associates, Watsonville, California
Aug. 11, 2005 Kenneth M. Cherrier, JD, FLMI, AIRC, AIAA, ACS, Chief Compliance Officer, Fintegra Financial Solutions
Aug. 11, 2005 Carolyn Bravakis, WinsorLocks, Connecticut
Aug. 11, 2005 Melody Juge, Milwuakee, Wisconsin
Aug. 10, 2005 Robert H. FitzSimmons
Aug. 09, 2005 Victoria Bach-Fink, Wall Street Financial Group
Aug. 10, 2005 Larry Winkelhake, Asheville, North Carolina
Aug. 10, 2005 Lauren Peterson, Newport Beach, California
Aug. 10, 2005 Raymond O. Streu, CFP, Board Chairman, Asset Planning Group, Inc., Amarillo, Texas
Aug. 10, 2005 Louis J. Macloskey, CFP, West Palm Beach, Florida
Aug. 10, 2005 Kevin Ivey, Houston, Texas
Aug. 10, 2005 Van G. Booth, CLU, CFP, Factoryville, Pennsylvania
Aug. 09, 2005 Donna M. Wolf, CFP, Mequon, Wisconsin
Aug. 09, 2005 John Reigelman, Penfield, New York
Aug. 09, 2005 Douglas Shoemaker, San Diego, California
Aug. 09, 2005 David N. Chick, Branch Manager, Associated Securities Corp.
Aug. 09, 2005 Stephen N. Mathieu, CFP, CLU, ChFC, RHU
Aug. 09, 2005 D. Gregory Baker, Southfield, Michigan
Aug. 09, 2005 Donald B. Baker, Southfield, Michigan
Aug. 09, 2005 Elena M. Ling, CLU, ChFC, CSA, Diamond Bar, California
Aug. 09, 2005 Ben C. Kauffman
Aug. 08, 2005 Denise M. Roth
Aug. 08, 2005 Peter D. Fischel, CLU, Fremont, California
Aug. 08, 2005 Paul Howard Rhodes, Maysville, Missouri
Aug. 08, 2005 George Slusher, Floyd, Virginia
Aug. 08, 2005 Carsten Falkenberg, Crown Point, Indiana
Aug. 08, 2005 Larry D. Newman, Sammons Securities Co.
Aug. 08, 2005 Daniel R. Gehl, Intersecurities, Inc.
Aug. 08, 2005 Charles Beard, Carmel, Indiana
Aug. 08, 2005 David H. Davis , CLU, ChFC, CSA, Financial Advisor, Chattanooga, Tennessee
Aug. 08, 2005 Mark A. Reinert, CFP, Topeka, Kansas
Aug. 06, 2005 Lee Russell, The Woodlands, Texas
Aug. 06, 2005 K. C. Lam, Memphis, Tennessee
Aug. 06, 2005 S. Mark Weeks, SLC, Utah
Aug. 06, 2005 Arthur Sobczak, Strongsville, Ohio
Aug. 06, 2005 Susan L. Coates
Aug. 05, 2005 Armand Batocabe
Aug. 05, 2005 Mark Lodwick
Aug. 05, 2005 Robert A. Shepherd, Oklahoma City, Oklahoma
Aug. 05, 2005 Ed Hilston, Merrimack, New Hampshire
Aug. 05, 2005 Frank Luczak, Letcher, South Dakota
Aug. 05, 2005 John Dardis, Metairie, Louisiana
Aug. 05, 2005 Deborah Castiglioni, CEO, Cutter & Company, Inc.
Aug. 05, 2005 Lee P. Thaete, Shawnee, Kansas
Aug. 05, 2005 Stephen Cohen, Katonah, New York
Aug. 05, 2005 Kathie H. Okun, Pikesville, Maryland
Aug. 05, 2005 Vern Wilson, Jr., CLU, Houston, Texas
Aug. 05, 2005 Ken Smith
Aug. 05, 2005 John David Boyd, LUTCF
Aug. 05, 2005 James L. Yost CLU, ChFC
Aug. 05, 2005 Parley Flanery
Aug. 05, 2005 Robert Edelstein
Aug. 05, 2005 B. Michael Muirhead
Aug. 05, 2005 Edward C. Prescott, CLU
Aug. 05, 2005 Eric H. Arman
Aug. 04, 2005 Charles N. Bracht, Apogee
Aug. 04, 2005 Charles W. Potts, MassMutual Financial Group
Aug. 04, 2005 Dan Buck
Aug. 04, 2005 Larry LaBine, ChFC, Scottsdale, Arizona
Aug. 04, 2005 Sheron Dinnel
Aug. 04, 2005 Susan Ebbert Wambaugh, The Giles Financial Group
Aug. 04, 2005 Joan M. Halstead, Financial Resources
Aug. 04, 2005 Charles A. Thomas, II
Aug. 04, 2005 Lance Perkins, CFP
Aug. 04, 2005 Scott Dittmer
Aug. 04, 2005 George Nelson Ridings, CLU ChFC AEP
Aug. 04, 2005 Rick Dworsky, CLU
Aug. 04, 2005 Judy Kooyman
Aug. 04, 2005 David R. Bellis CLU, ChFC, MSFS
Aug. 04, 2005 John A. Styer
Aug. 04, 2005 Mitch Sproul
Aug. 04, 2005 Charles B. Godfrey, CLU, LUTCF
Aug. 04, 2005 Nicholas Hamp CLU, ChFC
Aug. 04, 2005 Barbara McClellan
Aug. 04, 2005 Wayne L. Warren, CLU, ChFC, MSFS
Aug. 04, 2005 Marc M. Friedland, MBA, CLU, ChFC, AEP
Aug. 04, 2005 John Thigpen, CLU, ChFC, LLIF
Aug. 04, 2005 Ronald S. Coody, CLU
Aug. 04, 2005 Andrew Bennett
Aug. 04, 2005 John Downing
Aug. 04, 2005 Harold Johnson
Aug. 04, 2005 J. L Duchene, LUTCF, MS
Aug. 04, 2005 Joel F. Garfield, CLU
Aug. 04, 2005 Mary Ann Wagner
Aug. 04, 2005 Chris Paliani
Aug. 04, 2005 Greg Ezell
Aug. 04, 2005 Jason Beckett
Aug. 04, 2005 David M. Fickett, CLU, ChFC, El Paso, Texas
Aug. 03, 2005 Michael P. DeGeorge, General Counsel, National Association for Variable Annuities
Aug. 03, 2005 Michael Laine, CFP
Aug. 03, 2005 Steven P. Grager, Chairman, The Financial Planning Association of The East Bay, Danville, California
Aug. 03, 2005 Mitch Silberman, Westlake Village, California
Aug. 03, 2005 Michael J. Vitalbo, Pittsburgh, Pennsylvania
Aug. 02, 2005 Terence W. O'Doherty, Vancouver, Washington
Aug. 02, 2005 Marcia L.Martin, Cambridge Investment Research, Inc.
Aug. 01, 2005 Dennis J. Rogers, Rogers & Kirby
Aug. 01, 2005 Glen J. Lutz, CFP, Eugene, Oregon
Aug. 01, 2005 Randy Nicholls, Federal Way, Washington
Jul. 27, 2005 Carl. B. Wilkerson, Vice President and Chief Counsel, Securities & Litigation, American Council of Life Insurers

 

http://www.sec.gov/rules/sro/nasd/nasd2004183.shtml

Modified: 10/16/2014